Principal Review Specialist
1 month ago
The Principal is primarily responsible for approving and accepting submitted paperwork as well as reviewing and approving Pershing brokerage and direct business transactions. Principal will accept business risk on behalf of Valmark within compliance guidelines and regulatory requirements including resolving Not in Good Order (NIGO) business related to RegBI, DOL, and suitability.
Essential Functions and Responsibilities
Review and approve new business and transaction related requests, including but not limited to T+1/post-transaction review through the use of electronic imaging and our workflow systems.
Process and resolve post transaction cases in NIGO queues, confirm or override NIGOs, approve business as appropriate.
Provide assistance to Sr. Principals in performing day-to-day responsibilities as directed.
Assist with any special approvals or projects related to risk management.
Assist in reviewing and updating the following tools: PASS Form, Rollover Tool, Benchmarking Data, 529/Breakpoint Resources, etc.
Assist in reviewing and updating principal review guidelines.
Assist in reviewing eDeposit check ledger monthly to monitor, review, and identify rollover transactions defined by the DOL and ensure compliance.
Provide research support regarding the Consolidated Audit Trail (CAT) and assist with resolving any deficiencies.
Assist in reviewing MSRB trade reconciliation reports and ensure transactions are compliant with the MSRB regulations and rules.
Ensure compliance with Written Supervisory Procedures (WSP) and Anti-Money Laundering (AML) program.
Notify management when potential business risks on business submitted have been identified and business is not in accordance with compliance guidelines and regulatory requirements.
Maintain knowledge of current regulatory requirements (i.e. RegBI, DOL, MSRB, etc.).
Record detailed notes in CRM for further processing by other team members and for use for regulatory requirements and audits.
Provide backup assistance to other team members as business needs dictate, (i.e. Investment Operations call queue).
Perform other tasks assigned by management.
Core competencies
Strong knowledge of financial industry, regulations, and investment products
Strong knowledge of Valmark Operations procedures, paperwork, and processing
Strong knowledge of various technologies: Microsoft Office and CRM, OnBase, MyCase, LaserApp, vendor software (Schwab and Pershing), Albridge, DST Vision
Strong written and verbal communication skills, with the ability to deal effectively with various people including staff, management, vendors, and Member Offices
Ability to work in a fast-paced environment and handle multiple projects simultaneously to meet standard level service agreements
Ability to be a self-motivated, independent worker, while occasionally working effectively in a team environment
Strong analytical, problem-solving, research skills
Supervisory Responsibility
The Principal, Review Specialist will not have any supervisory responsibilities.
Required Education and Experience
Bachelor’s Degree in Finance or related field or 3+ years of financial services industry experience
FINRA registration: Series 24 or requirement to obtain certification within 6 months of start date
Life and Health Insurance License
Preferred Education and Experience
5+ years of financial services industry experience
FINRA registration: Series 53 or equivalent
Industry designation (CFP, CPA, MBA)
Certified in operational process improvement (Lean 6 Sigma, Kaizen)
Physical Demands
This is a largely sedentary role; however, some walking is required. Individuals may need to sit or stand as needed. This position may require walking primarily on a level surface for short periods of time.
Expected Hours of Work
Days and typical hours of work are Monday through Friday, 8:30 a.m. to 5:00 p.m. Flexibility in working hours may be allowed, but the employee must work 40 hours each week to maintain full-time status.
Valmark reserves the right to modify, interpret, or apply this job description in any way the Company desires. This job description in no way implies this is an all-inclusive list of responsibilities to be performed by the Employee in this position. This job description is not an employment contract, implied or otherwise. The employment relationship remains “at-will”.
Job summary
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